Statement of Changes in Beneficial Ownership (4)

Date : 11/01/2018 @ 6:32PM
Source : Edgar (US Regulatory)
Stock : Arc Grp. Worldwide, Inc. (ARCW)
Quote : 0.25  0.0 (0.00%) @ 1:00AM

Statement of Changes in Beneficial Ownership (4)

FORM 4
[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).         
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
                                                                                  
OMB APPROVAL
OMB Number: 3235-0287
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
                      

1. Name and Address of Reporting Person *

Willman Aaron
2. Issuer Name and Ticker or Trading Symbol

ARC Group Worldwide, Inc. [ ARCW ]
5. Relationship of Reporting Person(s) to Issuer (Check all applicable)

_____ Director                      _____ 10% Owner
__ X __ Officer (give title below)      _____ Other (specify below)
Chief Financial Officer
(Last)          (First)          (Middle)

C/O ARC GROUP WORLDWIDE, INC., 810 FLIGHTLINE BLVD.
3. Date of Earliest Transaction (MM/DD/YYYY)

9/20/2018
(Street)

DELAND, FL 32724
(City)        (State)        (Zip)
4. If Amendment, Date Original Filed (MM/DD/YYYY)

 
6. Individual or Joint/Group Filing (Check Applicable Line)

_ X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Trans. Date 2A. Deemed Execution Date, if any 3. Trans. Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock   7/31/2018     J (1)    1579   A $2.15   5635   D    
Common Stock   1/31/2018     J (1)    1580   A $2.05   4056   D    
Common Stock   7/31/2017     J (1)    1135   A $2.85   2476   D    
Common Stock   1/31/2017     J (1)    1341   A $4.40   1341   D    

Table II - Derivative Securities Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Trans. Date 3A. Deemed Execution Date, if any 4. Trans. Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
6. Date Exercisable and Expiration Date 7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
8. Price of Derivative Security
(Instr. 5)
9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Stock Options (Right to Buy)   $2.35   5/14/2018     A   (1)    8626         (2) 5/14/2025   Common Stock   8626   $0   16431   D    
Stock Options (Right to Buy)   $4.40   2/10/2017     A   (1)    17600         (3) 2/10/2027   Common Stock   17600   $0   14274   D    
Stock Options (right to buy)   $2.50   8/26/2016     A   (1)    4774         (4) 8/26/2023   Common Stock   4774   $0   14274   D    
Stock Options (right to buy)   $1.51   1/15/2016     A   (1)    19000         (5) 1/15/2023   Common Stock   19000   $0   9500   D    

Explanation of Responses:
(1)  The Reporting Person is filing this Form 4 voluntarily in lieu of a Form 5 filing in respect of the Form 3 for the Reporting Person that was not filed in a timely manner in connection with the appointment of the Reporting Person as Chief Financial Officer of the Company effective September 20, 2018.
(2)  Options granted to the reporting person on May 14, 2018. Of such options, 2,157 vested and became exercisable on the grant date, and the balance vest 25% on each anniversary of the date of grant until the Stock Options have vested in full. The Options shall expire on May 14, 2025, the seventh anniversary of the date of grant. As of the date of this report, 2,157 options were vested and exercisable.
(3)  Options granted to the reporting person on February 10, 2017. Of such options, 17,600 vest and become exercisable on December 31, 2018. The stock options will expire on February 10, 2027.
(4)  Options granted to the reporting person on August 26, 2016. Of such options, 4,774 vested and became exercisable on August 26, 2016, the date of grant. The Stock Options will expire on August 26, 2023.
(5)  Options granted to the reporting person on January 14, 2016. Of such options, 3,800 vested and became exercisable on the grant date, and the balance vest 20% each anniversary of the date of grant until the stock options have vested in full. The options shall expire on January 14, 2023, the seventh anniversary of the date of grant. As of the date of this report, 9,500 options were vested and exercisable.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director 10% Owner Officer Other
Willman Aaron
C/O ARC GROUP WORLDWIDE, INC.
810 FLIGHTLINE BLVD.
DELAND, FL 32724


Chief Financial Officer

Signatures
/s/ Aaron Willman 11/1/2018
** Signature of Reporting Person Date


Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4(b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.

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